Splet11. apr. 2024 · The FCA will be among 13 international regulators so far taking part in the Global Financial Innovation Network (GFIN)’s first ever Greenwashing TechSprint. We invite all UK-based firms, interested in participating, to apply from 17 April 2024. The GFIN is a group of over 80 international organisations committed to supporting financial innovation … SpletThis handbook sets out the legislative and regulatory requirements for the prevention and detection of money laundering, the financing of terrorism, and the financing of proliferation. Subscribe to our news and updates Receive our latest news, updates, warnings, events and webinars directly to your inbox Subscribe AML/CFT/CPF Handbook
What Conduct Rules training is required under SM&CR?
SpletSuitable training should always ensure that those who are subject to the rules in COCON have an awareness and broad understanding of all of the rules in COCON, and that they … SpletDate and Time. One of the key areas for improvement in the FCA’s report was around data. A key part of the Consumer Duty is that firms assess, test, understand and evidence the outcomes their customers are receiving. And the FCA makes it clear that “Without this, it will be impossible for firms to know that they are meeting the requirements ... chp team schroders
Recruiting, training and supervising staff FCA
SpletThe Training and Competence sourcebook ( TC) contains additional rules and guidance relating to specified retail activities undertaken by a firm. SYSC 5.1.4A G 01/01/2011 RP … SpletThe FCA, when considering whether a breach of its rules on systems and controls against money laundering has occurred, will have regard to whether a firm has followed relevant … Splet01. avg. 2024 · The FCA Handbook requires firms to make sure anyone performing a Senior Management Function or a Certification Function is fit and proper for their role. This requirement also applies to NEDs who are not Senior … chp team pictet